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Full-Text Articles in Securities Law
U.S. Insider Trading Law Enforcement: Survey Of Sec Actions From 2009 To 2013 And Issues, Chien-Chung Lin, Eric Hung
U.S. Insider Trading Law Enforcement: Survey Of Sec Actions From 2009 To 2013 And Issues, Chien-Chung Lin, Eric Hung
Chien-Chung Lin
This article discusses the SEC’s insider trading enforcement actions from 2009 to 2013. With an introduction of the current procedures and regulatory tools available, this article provides a thorough survey on the insider trading cases found from SEC’s official website, related databases and litigation releases in the corresponding period and compiles the results in appendices. In doing so, we present a first-hand, detailed picture of insider trading law in the United States and its enforcement. The data also relates to several much debated theoretical issues in this area, including the merit of punishing insider trading activities, the efficacy of current …
Threats Escalate: Corporate Information Technology Governance Under Fire, Lawrence J. Trautman
Threats Escalate: Corporate Information Technology Governance Under Fire, Lawrence J. Trautman
Lawrence J. Trautman Sr.
In a previous publication The Board’s Responsibility for Information Technology Governance, (with Kara Altenbaumer-Price) we examined: The IT Governance Institute’s Executive Summary and Framework for Control Objectives for Information and Related Technology 4.1 (COBIT®); reviewed the Weill and Ross Corporate and Key Asset Governance Framework; and observed “that in a survey of audit executives and board members, 58 percent believed that their corporate employees had little to no understanding of how to assess risk.” We further described the new SEC rules on risk management; Congressional action on cyber security; legal basis for director’s duties and responsibilities relative to IT governance; …